Amber Allen counsels investment advisers, private fund advisers, broker-dealers, investment funds, and insurance companies on securities regulation.
As counsel in the Investment Services & Products practice group, Amber advises clients across the full spectrum of legal and regulatory matters, including SEC examinations, Regulation S-P safeguards and incident response obligations, portfolio management, trading, advertising, private fund formation, mergers and acquisitions, cybersecurity and data privacy compliance, and the regulatory implications of artificial intelligence and emerging technologies. She regularly counsels broker-dealers and investment advisers on implementing the enhanced safeguard and breach notification requirements under Amended Regulation S-P.
Prior to Eversheds Sutherland, Amber served as General Counsel and Executive Vice President of Fairview, LLC, a provider of comprehensive compliance consulting services for investment advisers, mutual funds, and other financial institutions. In this legal and business leadership role, she oversaw multiple teams that designed and implemented compliance programs and advised clients on regulatory requirements, examinations, and industry best practices, with a focus on large and complex registrants. She also led efforts to launch the firm’s cyber practice group, serving as President of Fairview Cyber.
Amber’s broad financial services-focused work also includes forming a legal department from the ground up and creating a corporate governance program, including implementing corporate policies and procedures pertaining to organizational cyber and data security programs, business continuity, GDPR policies and procedures, disaster recovery and incident response.
Latest Insights
- PLI: “Navigating Amended SEC Regulation S-P, Cybersecurity and Data Privacy Challenges” (July 2025)
- NSCPCurrents Live: “Navigating the Evolving Cyber Landscape and Regulation S-P” (June 2025)
- Investment Adviser Association: “Cybersecurity Program Best Practices” (March 2025)
- Carolinas Roundtable: “Anti-Money Laundering Rule” (February 2025)
- Practising Law Institute: “Regulation of Private Fund Advisers” (November 2024)
- National Society of Compliance Professionals (NSCP) National Conference: “Cybersecurity Risk Management” (October 2024)
- St. Louis Compliance Roundtable: “Practical Guidance on Managing Evolving Regulatory Requirements and Cyber Risks” (October 2024)
- Salt Lake City Compliance Roundtable: “Cybersecurity, AI, and Amended Regulation S-P” (August 2024)
- Fairview – Investment Adviser Association Webinar: “The SEC’s Amendments to Regulation S-P” (July 2024)
- NSCP Spring Conference: “The Death of Sideletters” (April 2024)
- NSCP National Conference: “The SEC’s Private Fund Rules – What You Need to Know” (October 2023) NSCP National Conference: “Best Practices for Records Management” (October 2023)
- The Securities Compliance Podcast: “Cybersecurity Rule Proposal Redux – Lessons from the Front Lines” (June 2023)
- NSCP National Conference: “Best Practices for Records Management” (October 2022)
- The Securities Compliance Podcast: “Marketing Rule Master Class – Overview of Tricky Legal Aspects” (August 2022)
- NSCP National Conference: “Performing Robust - Testing of Compliance Policies and Procedures” (October 2021)
- Salt Lake City Compliance Roundtable – “ESG Compliance” (August 2021)
- Salt Lake City Compliance Roundtable – “The SEC Marketing Rule: 14 Things to Know and Choices to Make” (May 2021)
- NSCP National Conference: “Evolving Custody Responsibilities” (October 2020)
- “Co-author of the Year” for National Society of Compliance Professionals’ (NSCP) Currents publication (2022)
- “40 Under 40,” Triangle Business Journal (2022)
- National Society of Compliance Professionals (NSCP): Board Member (2022 – Present)
- NSCP Conference Committee: Investment Advisers Chair
- NSCP Governance Committee: Deputy Chair (November 2024 – Present)
- NSCP Currents Publications Committee: Co-Chair, Editorial Board Member, RIA Sub‑Committee Chair (2021 – 2023)
- North Carolina
- J.D., Elon University School of Law
- B.S., North Carolina State University, magna cum laude
- Certified Information Privacy Professional/US (IAPP)